For most fund managers, filing their first Uniform Application for Investment Adviser Registration - better known as the Form ADV - with the SEC and/or state securities authorities is the official kick off to becoming a Registered Investment Adviser (“RIA”). While its five distinct parts and pieces may not apply to everyone, it still is a considerable undertaking that, once completed, should tell the story of who the RIA is – to regulators and the public who can freely view it.

Like all stories, interpretations may vary, particularly over time. The uniform format of the ADV may not fit quite right in describing an RIA’s business or practices, resulting in a less accurate depiction that may be misconstrued. Although the filing must be updated no less than annually – or more frequently if a material change warrants it – the overall accuracy of an ADV can suffer from repeated use over time. While you are not required to revisit the entire document beyond making updates, you may want to on occasion. Stories do change over time, and yours may have as well.

On July 23, please join AIMA and ACA Group for a webinar on Form ADV, giving a back-to-basics look at what the filing ultimately says about an RIA – and how to better control that narrative. During the session, we will consider who uses your filed Form ADV, for what, and how that can affect their interpretation of an RIA’s business. We also will discuss some pitfalls and best practices that can benefit practitioners at all levels.

Whether you are a new registrant or a seasoned practitioner, we hope that you will join us. As always, attendee questions are welcome and encouraged.

Panelists:

• Enrique Carlos Alvarez, Managing Director, ACA Group

• Suzan Rose, Senior Adviser, Government and Regulatory Affairs, AIMA

Sponsored by: